1. Professional Discipline
Presenter Name
Agency

2. Professional Discipline
Introduction
Public access and perception
Board’s responsibilities
Understand Board policies and procedures
Disciplinary processes are often the most public activities of regulatory entities and will shape the public’s perception of the board.
Board has a responsibility for fiduciary concerns, fairness, and assuring the proper resources are allotted to the disciplinary process.
Discipline process varies between jurisdictions, so the biggest concern is to ensure board members understand and support their board’s policies and procedures.

3. The Enforcement Process
Intake
Assessment
Investigation
Review / Screening
Resolution (Formal or Informal)
Findings & Order
Compliance

4. Complaint is received and acknowledged
Step 1: Intake
Complaint is received and acknowledged
Notification to practitioner
File set-up
File status tracking mechanisms
Intake: Receiving and acknowledging complaints; setting up files and initiating complaint tracking. This is often the only point at which a consumer makes contact with a regulatory agency and the handling of telephone calls and correspondence at this stage has a real impact on the public’s perception of the regulator.

5. Initial screening of complaint
Step 2: Assessment
Initial screening of complaint
Determine jurisdiction
Assess risk to public – interim measures
Assess issues for possible alternative resolution mechanisms
Assessment: Screening complaints; applying the agency’s ‘standard of acceptance’; determining jurisdiction and the form of response that is appropriate for the complaint. In cases where an immediate public risk is perceived the regulator may have statutory powers to impose some form of immediate suspension of registration

6. Assign complaint to an investigator or investigative team
Step 3: Investigation
Assign complaint to an investigator or investigative team
Evidence gathering
Interviews
Identify, obtain and review relevant documentation
Investigation Report
Investigation Assigning an individual or team to gather evidence and produce an investigation report. In some jurisdictions this work is undertaken by Board members or prosecutors rather than by investigators.

7. Step 4: Review / Screening
Determining the disposition of the complaint
Investigation/Screening Committee
Complaints without merit are closed
Complaints with merit move forward
Review Determining the disposition of investigated complaints. At this stage a decision will be taken on prosecutorial viability or some other measure of whether there is ‘case to answer’. Complaints without merit will be closed and a level of action will be determined for those which merit further consideration.

8. Confidential / Informal Resolutions
Step 5: Resolutions
Confidential / Informal Resolutions
Before the screening committee
Written/Oral Cautions
Irrevocable Undertaking
Remediation
Resolution: Hearing or otherwise deciding the case. This may be some form of informal process (such as a stipulated agreement or undertaking).

9. Public / Formal Resolutions:
Step 5: Resolutions
Public / Formal Resolutions:
Consent Orders / Agreed Statements of Fact
Contested hearings
Discipline hearing before a Committee or Panel
Similar to a trial
Resolution: Hearing or otherwise deciding the case. This may involve formal resolution at a hearings before the Board, a tribunal or administrative law judge.

10. The Discipline Panel adjudicates by…
Step 6: Findings & Order
The Discipline Panel adjudicates by…
Determining the facts based on the evidence
Making findings
Ordering sanctions
Producing written decisions
Decisions and orders can be appealed
Final Orders: Disposing of the case, including imposing an appropriate sanction. The resolution process will establish facts based upon the evidence, apply the relevant law and, depending upon the legislative language, reach conclusions as to ‘liability’ or ‘guilt’. The person or body that conducted the hearing will often also make the final order. However, in some jurisdictions the findings in the case may be referred back to the Board or a committee which then makes the final order (either as to guilt and sanction or only on sanction).

11. The Board must monitor compliance with sanctions
Step 7: Compliance
The Board must monitor compliance with sanctions
Sanction orders may include consequences of non-compliance
Compliance Following up on final orders to ensure that they are being obeyed. Ensuring a high degree of compliance is an important part of maintaining public confidence in the regulatory process.

12. A Strong Enforcement Process…
…is well publicized
…is based on a well-organized, open and transparent process
…operates in a timely manner
…avoids appearances of institutional bias
…defines misconduct, incompetence and other offences clearly
…maintains internal consistency
publicize their existence and role in handling consumer complaints
Options include:
Toll-free complaint lines;
consumer-friendly websites
distribution of information brochures;
posting ‘how to complain’ notices in all registered practitioners' premises;
advertising;
speeches and other stakeholder outreach by board members;
coordination of publicity and information with consumer groups,
develop well-organized complaint handling processes
with clear guidelines on how to log complaints, who receives notification of the complaint, and within what period of time.
set appropriate timescales
for notices, the review of investigations and other key steps in the complaint handling process and adhere to them. Timescales and deadlines should be set out in legislation or clear policy statements.
observe due process
by separating the investigation, prosecution and decision-making processes. Where Board members participate directly in the disciplinary process they should not be involved in more than one of these three steps.
specify the basis on which disciplinary action may be taken 
such as misconduct or unethical behaviour. So far as possible, the basis on which action can be taken and any definitions of the terms used should be set out in the regulatory agency’s governing legislation or regulations.
consider how to maintain consistency in relation to charges and sanctions
so that the principle of fairness is observed. Set guidelines which enable consistent charging and sanction decisions to be made and which also allow for deviation where there are aggravating or mitigating circumstances that make it appropriate and can be explained.

13. Disciplinary Sanctions
Principles and objectives
Protect the public
Maintain Confidence in the Board
Deterrence
General
Specific
Rehabilitation

14. Disciplinary Sanctions con’t
Aggravating and mitigating circumstances
Seriousness of the conduct
Prior discipline history
Single event vs. pattern of conduct
Harm to specific individuals
Misleading the Board/Agency
Cooperation with the investigation
Insight/Remorse

15. Disciplinary Sanctions con’t
Typical Sanction Options
Revocation / suspension of registration/license
Restrictions on practice
Terms and conditions (e.g., course of study)
Periodic inspections / monitoring / reporting
Restitution order
Reprimand
Fine
The disciplinary sanctions available to boards vary significantly from jurisdiction to jurisdiction and often a Board’s governing legislation only provides a limited number of options. The sanctions which may be available include:
Revocation of registration;
Suspension from practice for a fixed period or until specified conditions are met;
Probation or some other form of restriction on practice, which may include, limitations on practice, supervision requirements or satisfactory completion of remedial activity;
Denial of reinstatement or renewal of registration;
Mandatory substance testing or submission to some other form of mental or physical evaluation;
Censure and reprimand or a caution
Restitution order, requiring the refund of fees and costs to a consumer;
Administrative fine or monetary penalty.

16. Practitioner Misconduct
Technical competence issues
Lack of knowledge / skill / training
Behavioral issues
Breaches of Code of Conduct/Ethics
Business issues
Recordkeeping issues; Advertising issues
Personal issues
Impairment; Convictions
Practitioner Misconduct is one of the most common forms of violations that regulatory boards face and may include:
Physical harm or abuse of client
Failure to maintain accurate records
Failure to maintain standards of practice
Code of conduct violations
Fraud or falsifying of records
Improper advertising
Practice while intoxicated or mentally impaired
Mental and physical impairment can affect a professional’s ability to practice properly, evaluations of the licensee’s state are crucial to ensure the board has all the needed information to make an appropriate decision.
Chemical Impairment is one of the most common disciplinary issues
Substance impairment progresses along the continuum of use, misuse, abuse and dependency
Recognizing where a professional is on the continuum can help the board determine the degree of harm to the consumer as well as the appropriate course of disciplinary action and monitoring

17. Employ fair, transparent and timely processes
Summary
Employ fair, transparent and timely processes
Provide for informal resolution options where appropriate
Give specific training for Board members involved in discipline proceedings
Board Members must be familiar with their organization’s discipline process and policies.
The board is responsible for ensuring the process is transparent, timely and fair to all parties involved.
The board is also responsible for supporting those directly involved with the disciplinary process with appropriate resources and training.

18. Contact Information
Name
Title/Organization
Address
City, State & Zip
Phone
CLEAR
403 Marquis Ave., Ste | Lexington, KY 40502
(859) |